IT challenges financial firms face
Registered investment advisers, broker-dealers, lenders and insurance agencies handle exactly the data attackers want, under the eye of regulators who expect written policies and evidence. Meanwhile advisors need fast, reliable access to custodians, CRMs and planning tools from the office and on the road.
- Regulatory expectations — SEC, FINRA and state examinations ask for documented cybersecurity policies, vendor oversight and incident response plans.
- Wire fraud and impersonation — Business email compromise and spoofed instructions targeting money movement.
- Remote and hybrid advisors — Secure access to client data from anywhere without slowing anyone down.
- Vendor due diligence — You’re responsible for the security of the providers you rely on — including your IT provider.
How we support financial services
- Identity
MFA and conditional access
Strong authentication and device-based access policies for Microsoft 365, custodians and line-of-business applications.
MFA · conditional access - Email
Email security and impersonation defense
Advanced filtering, impersonation detection and user training that help stop wire fraud and business email compromise.
Email security · training - Security
24×7 detection and response
SentinelOne managed XDR and 24×7 SOC monitoring, with vulnerability management and patching across every device.
MxDR · SOC - Data
Encryption and data protection
Encrypted devices, secure file sharing, data loss prevention and backups of Microsoft 365 and servers.
Encryption · backup - Compliance
Policies and exam evidence
Written security policies, incident response plans, access reviews and reports that support your compliance program.
Documentation - Planning
Technology roadmap
A vCIO who plans upgrades, budgets and vendor changes around your business — not the other way around.
vCIO
Evidence for examiners and auditors
Regulators and clients increasingly ask how you oversee your IT provider. CAL IT Group is SOC 2 Type II attested across all five Trust Services Criteria, and we provide the documentation your compliance team needs — security policies, asset inventories, access reviews, backup testing and incident response procedures — so exam preparation is a matter of gathering evidence rather than creating it.
Regulation S-P, FINRA and the platforms advisors depend on
Advisers and broker-dealers work in a set of connected platforms — custodians such as Schwab, Fidelity and Pershing; CRMs such as Redtail, Wealthbox and Salesforce; planning tools such as eMoney and MoneyGuide; portfolio management and reporting systems; and the email and messaging archiving that SEC and FINRA recordkeeping rules require. Lenders and insurance agencies add loan origination and agency management systems. Each holds client data, and each sign-in is a target.
The rules tightened recently. The SEC’s amendments to Regulation S-P require SEC-registered advisers, broker-dealers and other covered institutions to maintain a written incident response program, notify affected individuals within 30 days of discovering unauthorized access to sensitive customer information, and oversee service providers, including making sure they report a breach within 72 hours. Larger entities had to comply by December 3, 2025, and smaller entities by June 3, 2026. FINRA member firms also maintain a business continuity plan under Rule 4370, and non-bank lenders fall under the FTC Safeguards Rule.
We support the technical side directly: incident response procedures, logging and 24×7 detection and response, plus the documentation your compliance team needs to show service provider oversight — backed by our own SOC 2 Type II report. See our managed cybersecurity services, and read how we support an investment management foundation in our Fuller Foundation case study and a credit union in our First Credit Union case study.
Why Financial firms choose CAL IT Group
- Response
A real engineer in under a minute
96%LIVE of calls answered by an engineer in under 60 seconds, and a 20-minute engineer response on every ticket — numbers we publish live on our homepage, because we’re proud of them.
Live metrics · fully transparent - Security
SOC 2 Type II attested
Our own operations are independently audited across all five Trust Services Criteria, and our full security stack with 24×7 NOC & SOC monitoring is included in Managed Care.
24×7 NOC & SOC - Local
Your team, in Huntington Beach
Over 10 years in business, grown 100% organically, with a 100% local team that learns your firm, your applications and your people — with on-site support included.
No call center - Pricing
One all-inclusive per-user price
Help desk, monitoring, security and backups in one predictable monthly price, published on our website — no surprise invoices.
See your price
Related services: managed cybersecurity, security and compliance and cyber warranty solutions.